Chief Risk Officers Content

[32059] November 21, 2019 TO: ICI Members ICI Global Members Chief Risk Officer Committee ICI Global Brexit Task Force ICI Global Regulated Funds Committee ICI Global Trading & Markets Committee Securities Operations Advisory Committee SUBJECTS: Derivatives Trading and Markets RE...

[32017] October 21, 2019 TO: ICI Members Chief Compliance Officer Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee Privacy Issues Working Group SEC Rules Committee Transfer Agent Advisory Committee SUBJECTS: Privacy State Issues RE: Important...

[31997] October 7, 2019 TO: Chief Risk Officer Committee RE: Registration Open for Nov. 21 CRO Committee Meeting, Joint CRO and Internal Audit Meeting, and Joint Dinner in Washington, DC The fall meeting of ICI’s Chief Risk Officer Committee will be held on Thursday, November 21 from...

[31968] September 16, 2019 TO: Chief Compliance Officer Committee Chief Risk Officer Committee Compliance Advisory Committee SEC Rules Committee RE: SEC Staff Encourages Funds to Improve Their Principal Risk Disclosures for Investors On September 9, 2019, the Disclosure Review and...

[31950] September 9, 2019 TO: Chief Risk Officer Committee SEC Rules Committee Securities Operations Advisory Committee RE: Member Call to Discuss Overstock's Upcoming Digital Preferred Stock Dividend: September 12 (4pm ET) On July 30, Overstock.com, Inc. announced that its board had...

[31939] September 5, 2019 TO: ICI Members Investment Company Directors ICI Global Members SUBJECTS: Compliance Exchange-Traded Funds (ETFs) Fund Governance International/Global Investment Advisers Money Market Funds Portfolio Oversight Risk Oversight Systemic Risk RE: ESMA Issues...

[31883] August 2, 2019 TO: Bank, Trust and Retirement Advisory Committee Chief Compliance Officer Committee Chief Risk Officer Committee Internal Audit Committee Operations Committee RE: SEC Sanctions Custodial Bank for Overcharging Mutual Funds for Custody Expenses The SEC recently...

[31870] July 26, 2019 TO: ICI Members Investment Company Directors Chief Compliance Officer Committee Chief Risk Officer Committee SUBJECTS: Compliance Risk Oversight RE: Delaware Supreme Court Upholds Suit Against Directors That Failed to Monitor Corporation's Central Compliance...